Seven Steps to Effective Regulatory Response

September 5, 2018 EDT, 2:00 pm - 3:00 pm

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Learn the seven steps to effective regulatory response and be prepared to respond quickly to ensure compliance.

Regulatory agencies such as the SEC and CFTC can initiate an investigation into business activity at any time, bringing challenges beyond those of typical ediscovery. Regulatory investigations often relate to unclear charges, make broad and sweeping data requests under unrealistically tight timelines, and bear severe consequences for noncompliance. Organizations need to be prepared to identify, preserve, and analyze relevant information rapidly and accurately.

In this webinar, Zapproved will discuss seven clear, actionable steps to launch a successful regulatory response. These steps start with strategizing and preserving data before moving into assessing information, negotiating the terms of the request, creating privilege logs, and keeping the lines of communication open.

Any organization subject to regulatory oversight could be investigated at any time. Prepare today so you can face tomorrow with confidence

Register now on EDRM’s website or the EDRM BrightTalk Channel.

This webinar is generously sponsored by Zapproved.


Meet our presenters:

Brad Harris
Vice President of Corporate Strategy, Zapproved LLC

Brad has more than 30 years of experience in the high technology and enterprise software sectors, including assisting Fortune 1000 companies enhance their e-discovery preparedness through technology and process improvement. Brad is a frequent author and speaker on data preservation and e-discovery issues, including articles in National Law Journal, Corporate Counsel, Metropolitan Corporate Counsel and Information Management and presentations at leading industry events such as LegalTech New York. Prior to joining Zapproved, he led the development of electronic discovery readiness consulting efforts for Fios, Inc. from 2004 to 2009. He has held senior management positions at prominent public and privately held companies, including Hewlett-Packard, Tektronix and Merant.

Amy Buttle
eDiscovery Manager, Duke Energy

As eDiscovery Manager within the Legal Department at Duke Energy, Amy is responsible for supporting paralegals and attorneys, managing archive systems, processing ESI, and training the legal team on eDiscovery tools. Prior to joining Duke in 2002, Amy spent eight years as a Certified Lotus Instructor at IKON.

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